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OCC Schedule of Fees / April 2019

Clearing Member

Clearing

Clearing Fees
Trades with Contracts of:  
0-999 $0.055
Greater than 999 $55.00/trade
New Products
Unless otherwise agreed to by OCC and the applicable exchange, from the first day of listing through the end of the following calendar month $0.00
Linkage per side* $0.02
Minimum Monthly Clearing Fee $200.00
Exercise Fee — per line item on exercise notice $1.00
Membership
New Clearing Member Qualification Fee $4,000.00
Stock and Market Loan Program Transaction Fees
Per transaction assessed against each lender and borrower $1.00
Stock and Market Loan Program Borrower Fees
Monthly annualized charge on average daily notional outstanding balance 0.4 basis point
Stamps
Clearing Member Authorization Stamp $23.00/stamp
* A Linkage transaction that includes more than 2,750 contracts will be charged a flat fee of $55.00 per trade per side.

Ancillary Services

TIER I $1,500.00 per month
  • ENCORE Access
  • MyOCC Access
  • Data Service - proprietary position and trade data (includes transmission to service bureau)
  • Report Bundle
  • Series File
  • Special Settlement File
  • Open Interest File
  • Prices File
  • Stock Loan File
  • Theoretical Profit and Loss Values
  • Leased line charges are additional
Additional Clearing Member: No Charge
TIER II $1,000.00 per month
  • ENCORE Access
  • MyOCC Access
  • Data Service - proprietary position and trade data (includes transmission to service bureau)
  • Report Bundle
  • Leased line charges are additional
TIER III $650.00 per month
  • ENCORE Access
  • MyOCC Access
TIER IV $300.00 per month
(Stock Loan only)
  • ENCORE Access
  • MyOCC Access

Leased Line Services

T1 line to destination Cost per month, per line
Midwest $1,000.00
East Coast $1,500.00
West Coast $2,000.00

OCC Capital Management Reporting

Unaudited as of September 30, 2019 Full Projection
(in million) Fcst Bgt B(W)
Operating Income 1 $154.3 $118.9 $35.4
Average Daily Contract Volume 19.4 18.5 0.9
Liquid Net Assets Funded by Equity 2 $282.4 $272 $10.4
1 Operating income represents net income before taxes
2 Liquid Net Assets Funded by Equity represents cash and cash equivalents less cash payable to the Securities and Exchange Commission for Section 31 Fees
Total Equity$362
Early Warning$272
Target Capital$247
Trigger Event$222

Cash Management Fee

Monthly annualized charge on Clearing Member's average daily cash balance in OCC's Federal Reserve bank account. 5 basis points

Clearing Member & Non-Clearing Member

Publications/Brochures

Disclosure Documents $0.45
OCC/ICC By-Laws and Rules
Updates can be obtained on a subscription basis for $47.00 per year.
$47.00

Non-Clearing Member

Series Information

Non-Distribution $1,750.00 per month
Distribution $3,000.00 per month
Real Time Data $250.00 per month (in addition to fees listed above)

Prices Information

$3,000.00 per month

Theoretical Profit and Loss Values*

$1,000.00 per month

Escrow Banks

Escrow Program Fees

Monthly $200.00

ALL FEES ARE SUBJECT TO CHANGE

For further information, contact Member Services at 1-800-621-6072.